FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Names Gregory Dean as Senior VP of Government Affairs
By Emily ZulzDean has worked in both houses of Congress, the federal government and the private sector.
January 03, 2017
5 Brokers Who Crossed FINRA in Q4Advisors did everything from obtaining credit cards using fake names to lying under oath, regulator says.
December 21, 2016
FINRA’s 12 Fines of Christmas: Wells Fargo, LPL Flub Security of RecordsThe companies were fined a total of $14.4 million, as some firms failed to keep millions of records in the proper electronic format.
December 15, 2016
FINRA Enforcement Chief Bennett to DepartBrad Bennett will leave early next year and return to private practice.
December 14, 2016
FINRA Expels First Crowdfunding PortalThe regulator says uFundingPortal.com violated several SEC regulations and FINRA's own portal rules.
December 09, 2016
Reps Fired by Wells Fargo Asked to Call FINRAFINRA is investigating whether the U5 forms of several hundred employees "contained inaccurate or incomplete comments related to the reason for the termination."
December 06, 2016
FINRA Says UBS Must Pay $18.6M to Puerto Rican Couple Over Closed-End FundsThere are more than 1,000 pending claims regarding Puerto Rico closed-end mutual funds sold by UBS, the claimants attorney says.
December 05, 2016
Credit Suisse Fined $16.5M by FINRA for Weak Anti-Money Laundering PoliciesThe firm fell short on procedures to detect possible money laundering involving microcap stock transactions.